Lead Opinion
Vacated and remanded by published opinion. Chief Judge TRAXLER wrote the majority opinion, in which Judge DIAZ
Romelus Pentroy Martin appeals the 77-month sentence imposed after he pleaded guilty to unlawful possession of a firearm by a convicted felon. See 18 U.S.C. § 922(g)(1). We agree with Martin that the district court erred by increasing his sentence after determining that Martin’s prior conviction for fourth-degree burglary constituted a crime of violence under U.S.S.G. § 2K2.1(a)(2), and we therefore vacate Martin’s sentence and remand for resentencing.
I.
The Sentencing Guideline applicable to § 922(g) violations sets a base offense level of 24 for defendants who commit the offense after “sustaining at least two felony convictions of ... a crime of violence,” U.S.S.G. § 2K2.1(a)(2), and a base offense level of 20 for defendants with only one prior conviction for a crime of violence, see id. § 2K2.1(a)(4)(A).
When Martin pleaded guilty to the felon-in-possession charge in August 2012, he had three prior convictions, including a 2007 Maryland conviction for conspiracy to commit robbery and a 2009 Maryland conviction for fourth-degree burglary. The district court held that both the 2007 conviction and the 2009 conviction amounted to crimes of violence as defined by the Guidelines, and the court therefore assigned Martin a base-offense level of 24. After adjusting the offense level to reflect Martin’s acceptance of responsibility, the district court determined that Martin’s advisory sentencing range was 77-96 months, and the court sentenced Martin to 77 months’ imprisonment.
On appeal, Martin concedes that his 2007 conviction was properly treated as a crime of violence, but he contends that the district court erred by treating the 2009 cоnviction as a crime of violence. If the district court had not treated the 2009 conviction as a crime of violence, Martin’s base-offense level would have been 20 instead of 24, and his advisory sentencing range would have been 51-63 months.
II.
For purposes of U.S.S.G. § 2K2.1, a “crime of violence” is defined as
any offense under federal or state law, punishable by imprisonment for a term exceeding one year, that—
(1) has as an element the use, attempted use, or threatened use of physical force against the person of another, or
(2) is burglary of a dwelling, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another.
U.S.S.G. § 4B1.2(a); see id § 2K2.1, cmt. 1 (defining “crime of violence” through cross-reference to § 4B1.2(a)). When determining whether a prior conviction qualifies as a crime of violence under the Guidеlines, we apply a categorical approach, focusing on “the fact of conviction and the statutory definition of the prior offense” rather than the conduct underlying the offense. Taylor v. United States,
Because fourth-degree burglary does not have “as an еlement the use, attempted use, or threatened use of physical force against the person of another,” it is not a crime of violence under U.S.S.G. § 4B1.2(a)(l).
And as the government concedes, the crime likewise does not constitute the enumerated crime of “burglary of a dwelling.” U.S.S.G. § 4B1.2(a)(2). Under the categorical approach, “a prior conviction constitutes a conviction for [an] enumerated offense if the elements of the prior offense correspond in substance to the elements of [an] enumerated offense.” United States v. Cabrera-Umanzor,
In Taylor, the Supreme Court defined generic “burglary” under the ACCA as “an unlawful or unprivileged entry into, or remaining in, a building or other structure, with intent to commit a crime.” Taylor,
III.
When determining whether a prior conviction falls within the residual clause, our inquiry remains a categorical one, “consider[ing] whether the elements of the offense are of the type that would justify its inclusion within the residual provision, without inquiring into the specific conduct of this particular offender.” James v. United States,
In James, the Supreme Court explained that the enumerated offenses preceding the residual clause “provide a baseline against which to measure the degree of risk that a nonenumerated offense must ‘otherwise’ present in order to qualify” as a crime of violence. Id. at 208,
In Begay v. United States,
In Sykes v. United States, — U.S. -,
[t]he phrase “purposeful, violent, and aggressive” has no precise textual link to the residual clause, which requires that an ACCA predicate “otherwise involve conduct that presents a serious potential risk of physical injury to another.” § 924(e)(2)(B)(ii). The Begay phrase is an addition to the statutory text. In many cases the purposeful, violent, and aggressive inquiry will be redundant with the inquiry into risk, for crimes that fall within the former formulation and those that present serious potential risks of physical injury to others tend to be one and the same. As between the two inquiries, risk levels provide a categorical and manageable standard that suffices to resolve the case before us.
Begay involved a crime akin to strict liability, negligence, and recklessness crimes; and the purposeful, violent, and aggressive formulation was used in that case to explain the result. The felony at issue here is not a strict liability, negligence, or recklessness crime and because it is, for the reasons stated and asa categorical matter, similar in risk to the listed crimes, it is a crime that “otherwise involves conduct that presents a serious potential risk of physical injury to another.”
Id. at 2275-76.
Martin argues that Begay governs our analysis of the residual clause question, such that the offense-level enhancement may be sustained only if fourth-degree burglary is (1) similar in kind to the enumerated offenses — ie., purposeful, violent, and aggressive; and (2) the degree of risk it poses is roughly similar to the degree of risk posed by burglary, the closest enumerated-crime analog. The government, however, argues that an inquiry into the degree of risk is all that is required after Sykes. In the government’s view, Sykes limited application of Begay’s similar-in-kind standard to crimes akin to strict liability, negligence, and recklessness crimes. Because the crime at issue in this case requires the defendant to know that his entry was unauthorized, see Dabney v. State,
Most of the circuits addressing the issue have held that Sykes limited Begay’s similar-in-kind inquiry to crimes predicated on strict liability, negligence, or recklessness. See, e.g., United States v. Chitwood,
In this circuit, however, we have continued, even after Sykes, to apply Begay’s similar-in-kind requirement to residual-clause cases. See Carthorne,
A. Degree of Risk
Under the degree-of-risk test, a prior conviction amounts to a crime of
As it was in James, -the enumerated offense of burglary is the closest analog to the fourth-degree burglary conviction at issue in this case. Accordingly, the question is whether the risk of physical injury posed by the fourth-degree burglary offense is roughly similar to the risk posed by generic burglary.
The Supreme Court has explained that the risk of physical injury associated with generic burglary comes “from the possibility of a face-to-face confrontation between the burglar and a third party — whether an occupant, a police officer, or a bystander— who comes to investigate.” James,
Martin, however, contends that the risk of physical injury during a generic burglary comes from the burglar’s specific intent to commit a crime. See Taylor,
While Martin’s argument is not without force, we agree with the government the potential risk of physical injury arising from the commission of fourth-degree burglary under Md.Code Ann., Crim. Law § 6-205(a) is comparable to that arising from the commission of generic burglary. Critical to this conclusion is the fact that § 6-205(a) requires entry into a dwelling. As this court observed when considering whether the substantively identical statutory predecessor to § 6-205(a) was a crime of violence, dwellings — unlike “ ‘storehouses’ ” — are “likely to be occupied.” United States v. Custis,
Martin argues, however, that an offender who enters a dwelling without a contemporaneous intent to commit a crime would be less likely to respond violently to the disсovery of his presence. Even if we accept that argument as true, it typically will not be apparent to the discovering homeowner whether an intruder harbors an additional intent to commit an additional crime, and the homeowner’s response to discovering an intruder will likely be the same whether or not the intruder harbors the additional intent. See James,
Under these circumstances, and given this country’s strong tradition of respecting the sanctity of the home and the homeowner’s right to exclude others therefrom, we simply cannot conclude that the absence of the intent to commit a crime makes the breaking-and-entering at issue here significantly less risky than generic burglary. Because the same risk of confrontation and resulting physical injury associated with generic burglary arises under the elements of the crime for which Martin was convicted, we believe that the risk of physical injury posed by Martin’s offense is comparable to the risk of physical injury posed by generic burglary. See United States v. Hampton,
B. Similar In Kind
Our conclusion that fourth-degree burglary of a dwelling and generic burglary have similar degrees of risk does not end our inquiry, as Begay requires that the prior conviction must also be similar in kind to the enumerated crimes. See Begay,
To be purposeful, violent, and aggressive, a crime must have a mens rea of at least recklessness; crimes that can be committed through negligent conduct do not satisfy the Begay inquiry. See id. at 439-40 (applying Begay to conclude that involuntary manslaughter under North Carolina law is not a crime of violence under the residual clause of U.S.S.G. § 4B1.2(a)(2) because the crime can be committed through negligent conduct); United States v. Rivers,
As Maryland’s highest court has made clear, the statute at issue in this case requires proof of the defendant’s “general criminal intent to break and enter” the dwelling. Warfield v. State,
The Warfield court explained that the statute’s knowledge requirement “is designed primarily to exclude from criminal liability both the inadvertent trespasser and the trespasser who believes that he has received an express or implied permission to enter or remain.” Id. at 1250 (quoting Model Penal Code § 221.2 (1985)). Accordingly, it is an affirmative defense to a § 6-205(a) charge “if the actor reasonably believed that the owner of the premises would have licensed him to enter.” Green v. State,
Because the defense requires a reasonable belief of permission to enter the dwelling, a defendant who im reasonably believed that he had permission to enter would be guilty under § 6-205(a). That is, a defendant who reasonably believed that he had permission to enter would not have the awareness that his entry was unwarranted, while a defendant who unreasonably believed he had permission would be deemed to be aware that his entry was unwarranted. It is therefore clear that a conviction under § 6-205(a) may be based on negligent rather than intentional conduct. See Bane v. State,
IV.
Although we conclude that Md.Code Ann., Crim. Law § 6-205(a) proscribes conduct that presents a degree of risk of physical injury that is roughly similar to the risk of injury posed by generic burglary, the statute can be violated by negligent conduct and therefore is not similar in kind to the offenses enumerated in § 4B1.2 of the Sentеncing Guidelines. The district court therefore erred by treating Martin’s 2009 conviction for violating § 6-205(a) as a crime of violence under the residual clause of U.S.S.G. § 4B1.2(a)(2).
VACATED AND REMANDED.
Notes
. While the Taylor Court was interpreting “violent felony” under the Armed Career Criminal Act ("ACCA”), 18 U.S.C. § 924(e)(2)(B), we generally apply Taylor's categorical ap
. The Custis court held that a conviction for attempted breaking and entering of a dwelling under Md.Code Ann. art. 27, § 31A (repealed 1994) was a crime of violence under the ACCA’s residual clause. Because the Cus-tis court’s analysis of the residual-clause issue did not follow the approach now dictated by the Supreme Court’s later-decided opinions in James, Begay, and Sykes, Custis’ ultimate crime-of-violence determination is no longer binding. See, e.g., United States v. Prince-Oyibo,
. Martin also contends that the residual clause is unconstitutionally vague. That argument, however, has already been rejected by this court and by the Supreme Court. See Sykes v. United States, - U.S. -,
Concurrence Opinion
concurring:
This ease raises a vexing question regarding the application of the сrime of violence enhancement found in the Guidelines: To what extent does Begay’s
Were I writing on a cleaner slate, I would stop after applying the “degree of risk” test the Chief Judge posits in Part III.A. of his opinion and find that Martin’s fourth degree burglary conviction is for a
But, as the Chief Judge explains, it appears we must also apply Begay’s teaching here, which requires that we consider whether the offense conduct is “similar in kind” to the residual clause’s enumerated offenses — i.e., whether the offense is “purposeful, violent, and aggressive.” See
“[T]o put it mildly,” the residual clause is “not a model of clarity.” See James,
The Supreme Court has struggled mightily to makе sense of this sphinx-like provision, but the clause remains an elusive target. We are told that a prior conviction triggers the sentencing enhancement when “the risk posed by [the offense at issue] is comparable to that posed by its closest analog among the enumerated offenses.” See James,
To further complicate matters, the Court in Sykes emphasized that “Begay involved a crime [ (driving under the influence) ] akin to strict liability, negligence, and recklessness crimes; and the purposeful, violent, and aggressive formulation was used in that case to explain thе result.” Id. at 2276 (majority opinion). That statement, however, leaves open a question implicated here — whether Begay applies to all strict liability, recklessness, and negligence offenses.
I am not absolutely confident that the Court would actually apply Begay in this instance, but neither can I discount the possibility. I therefore join the Chief Judge’s opinion.
. Begay v. United States,
. As the Chief Judge notes, "[w]e rely on precedents addressing whether an offense is a crime of violence under the Guidelines interchangeably with precedents evaluating whether an offense constitutes a violent felony under the Armed Career Criminal Act.” See United States v. Carthorne,
. The Supreme Court has granted certiorari in United States v. Johnson,
. In her separate dissent, Justice Kagan (joined by Justice Ginsberg) suggested that "[the purposeful, violent, and aggressive test] will make a resurgence — that it will be de-dared non-redundant — the next time the Court considers a crime, whether intentional or not, that involves risk of injury but not aggression or violence.” See id. at 2289 n. 1.
. I do so notwithstanding Judge O’Grady's fine dissent, which does not lack for persuasive force. His analysis confirms the substantial challenge that judges face in deciding when a prior conviction is for a crime of violence.
Dissenting Opinion
dissenting:
In this case we are called to decide whether Appellant Romelus Martin properly received a sentence enhancement under U.S.S.G. § 2K2.1(a)(2) for having two prior convictions for crimes of violence as defined by U.S.S.G. § 4B1.2. Specifically, Martin argues that the district court’s categorization of his 2009 Maryland conviction for fourth degree burglary as a “crime of violence” was improper because it does not proscribe “purposeful, violent, and aggressive” conduct that is similar in kind to the offenses enumerated in § 4B1.2(a)(2). As Judge Diaz noted, the federal courts of appeals have struggled to consistently apply the residual clause in the wake of Begay and Sykes. The extent to which Begay’s “similar in kind” requirement survived Sykes remains highly uncertain, and I join in Judge Diaz’s call for clarity from Congress or the Court.
I.
I am in agreement, as is Judge Diaz, with Section 111(A) of the majority opinion, in which the Chief Judge deftly analyzes this case under the “degree of risk” test utilized by the Supreme Court in James and Sykes. In 2009, Martin was convicted in Maryland of “breakfing] and entering] thе dwelling of another” in violation of Maryland Code Ann., Crim. Law § 6-205(a). Because this crime creates “the possibility of a face-to-face confrontation between the burglar and a third party,” James v. United States,
In Begay v. United States,
Three years later in Sykes v. United States, — U.S. -,
In the aftermath of Sykes, the courts of appeals have varied in their treatment of Begay’s “similar in kind” test. Some courts have suggested that Begay may not have survived Sykes at all. See, e.g., United States v. Sandoval,
II.
Although this circuit has continued to make reference to Begay’s “similar in
In other post-Sykes residual clause cases, this Court has sidestepped the “similar in kind” test altogether. For example, in United States v. Hudson, our analysis revolved only around the “degree of risk” approach without any consideration of the “similar in kind” or “purposeful, violent, and aggressive” tests.
Ultimately, as Judge Wilkinson stated in United States v. Vann: “Sykes clarifies that the risk of physical harm need not necessarily arise from ‘purposeful, violent, and аggressive’ conduct to qualify as an ACCA predicate.”
III.
Although there is no specific intent requirement in § 6-205(a), Maryland fourth degree burglary is a malum in se crime that does require general criminal intent. Green v. State,
In Herd v. State, the Maryland Court of Speciаl Appeals drove home the statute’s knowledge requirement.
Because breaking and entering under § 6-205(a) must be knowing, the Maryland courts have recognized that “a reasonable belief that the trespass is authorized, licensed, or privileged is a complete defense to the crime.” Herd,
In the criminal law, it is generally the ease that an honest and reasonable mistake of fact is a defense to a general intent crime when it negates the mens rea required for the offense. Warfield,
Residual clause cases from the Supreme Court and from this circuit confirm that the existence of only a reasonable mistake defense does not compel the conclusion that crimes requiring “knowledge” should be treated as negligence crimes. Perhaps the best example is Sykes itself. The Indiana vehicular flight statute the Court considered in Sykes, Ind.Code § 35-44-3-3
Importantly, Indiana had codified in its criminal law a general defense based on mistake-specifically, “[i]t is a defense that the person who engaged in the prohibited conduct was reasonably mistaken about a matter of fact, if the mistake negates the culpability required for commission of the offense.” Ind.Code § 35-41-3-7. It is therefore clear that while violation of the statute at issue in Sykes required knowledge, an honest but unreasonable mistake of fact would not have been exculpatory. The Supreme Court nonetheless found that because the statute had “a stringent mens rea requirement,” its violation was predicated on purposeful conduct and the degree of risk analysis was sufficient.
The Fourth Circuit reached the same result in one of our most recent residual clause cases. In United States v. Tillery, this Court held that eluding police in a vehicle was a crime of violence under the Guidelines.
Despite Begay’s use of the word “purposeful,” the “similar in kind” analysis does not require that all crimes of violence have a mens rea of “intent” or “purpose.”
Finally, it must be remembered that in determining whether a statute is a “crime of violence” under either James, Begay, or Sykes, we are required to look to the manner in which the crime is typically committed. In James, the Supreme Court stressed that while one could “imagine a situation in which attempted burglary might not pose a realistic risk,” the ACCA is based on “probabilistic concepts” and “does not require metaphysical certainty.”
IV.
As Judge Diaz observed, the proper reach of § 4B1.2’s residual clause (and the residual clause of the ACCA) is not a model of clarity. In light of the divergent conclusions being reached by the courts of appeals (and the frequency with which the residual clause is applied), it is evident that further guidance from Congress or the Court is necessary. My fellow panelists and I are in agreement that because Maryland fourth degree burglary requires knowingly breaking and entering the dwelling of another, it creates a high risk of confrontation and therefore poses the same level of risk as generic burglary. In my view, we need not look further. But even under Begay’s “similar in kind” test, I believe our precedents compel the result that Maryland fourth degree burglary is a “crime of violence.” Therefore, I respectfully dissent and would affirm the sentence imposed by the district court.
. The Supreme Court will have an opportunity to address the status of Begay next term in United States v. Johnson,
. As the Chief Judge notes, the definition of “crime of violence” in this circuit is informed interchangeably by cases decided under the Guidelines (U.S.S.G. § 4B 1.2(a)(2)) and under nearly identical language in the Armed Career Criminal Act (18 U.S.C. § 924(e)). See United States v. Mobley,
. However, even if Begay survived Sykes in its entirety and continues to apply in all residual clause cases in this circuit, I would still find that under Supreme Court and Fourth Circuit precedent, Maryland fourth degree burglary of a dwelling is "purposeful, violent, and aggressive” and therefore a “crime of violence” under Begay’s “similar in kind” analysis. See infra Part III.
. After resolving the case exclusively under the "degree of risk” analysis, the Court referred briefly to the "purposeful, violent, and aggressive” test only to observe that it would have reached the same conсlusion under that standard.
. As we have focused almost exclusively on the "degree of risk” test in post-Sykes cases, it is unclear whether Begay's "similar in kind” requirement truly survives Sykes at all in this circuit. However, for purposes of this case I assume that in analyzing a strict liability, negligence, or recklessness offense, this circuit would require that the statute “typically in
. United States v. Rivers,
. It should be noted that there is significant debate over whether "unreasonable” mistakes should be further classified as either "negligent” or "reckless” in order to determine whether they provide a defense to a given crime. See generally 1 Crim. L. Def. § 62 (2013). Because mistakes under § 6-205(a) (and under the other statutes discussed infra) are only referred to as "reasonable” or not, this discussion (though it raises an interesting issue) does not affect the outcome in the present case.
. Since repealed and replaced by the substantively identical § 35-44.1-3-1.
. The Court’s general use of the word "purposeful” in Begay necessarily created confusion with “purposeful” as used as a level of culpability in the Model Penal Code. On its own terms and as interpreted by this circuit, Begay does not require that all crimes of violence have a mens rea of "intent.” Rather, "purposeful” as used in Begay distinguished crimes whose risk of harm stems from active, criminal conduct from those in which negligent, accidental, or even faultless conduct typically creates the risk of harm.
. If there is any doubt that a conviction under § 6-205(a) rarely results from negligent conduct, the language of the Maryland courts is instructive. In Herd v. State, the Maryland Court of Special Appeals referred to the mistake defense in fourth degree burglary cases as “relatively rare and essentially esoteric.”
